Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2010 Onnig 17a-11 Supporting Statement.doc	Supporting Statement A	Uploaded 2010-06-18	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34332	Rule 17a-11: Notification provisions for brokers and dealers.		Modified
193318	Rule 17a-11: Notification provisions for brokers and dealers (17a-11(b)(1) Notices)		New
193317	Rule 17a-11: Notification provisions for brokers and dealers (17a-11(c)(5) Reports)		New
193316	Rule 17a-11: Notification provisions for brokers and dealers (17a-11(c)(5) Notices)		New

ICR Details

OMB Control No: 3235-0085	ICR Reference No: 201006-3235-010
Status: Historical Inactive	Previous ICR Reference No: 200906-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM-270-094
Title: Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 09/13/2010
	Date Received in OIRA: 07/14/2010
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2012	36 Months From Approved	09/30/2012
Responses	400	0	400
Time Burden (Hours)	400	0	400
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-11 was adopted in 1971 to provide advance warning and information regarding brokers and dealers that are experiencing financial or operational difficulties.

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Authorizing Statute(s): US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78o(c)(3) Name of Law: Securities Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AJ85	Proposed rulemaking	72 FR 12862	03/19/2007

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17a-11: Notification provisions for brokers and dealers (17a-11(b)(1) Notices)
Rule 17a-11: Notification provisions for brokers and dealers (17a-11(c)(5) Notices)
Rule 17a-11: Notification provisions for brokers and dealers.
Rule 17a-11: Notification provisions for brokers and dealers (17a-11(c)(5) Reports)

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The changes in the reporting burden are a result of the proposed amendments to paragraphs (b)(1) and (c)(5) to Rule 17a-11.

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Annual Cost to Federal Government: $7,843

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 07/14/2010

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